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Current Employers
Ameriprise Financial Services, Llc

901 3Rd Avenue South, Minneapolis, MN 55402 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2015-10-05
  • TX RA
    APPROVED
    Since 2015-10-05

Branch Locations

115 N Dixie Dr Ste 120, Lake Jackson, TX 77566-5958 • United States

West Columbia, TX • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. Lake Jackson TX 10/2015 03/2020
Ameriprise Financial Services, Llc Lake Jackson TX 03/2020 Present
Previous Registrations
  • 2013-01-03 → 2015-10-09
    Woodbury Financial Services, Inc.
    Lake Jackson, TX
    Lake Jackson, TX
    Lake Jackson, TX
Other Businesses

Real Estate Ownership; Single Family; 1001 Krenek Tap #1602, , College Station, TX, 77840; Not Investment-Related; 06/01/2020 / Commercial; 115 N Dixie Drive, Ste 120, , Lake Jackson, TX, 77566; Not Investment-Related; 01/01/2026. Independent Insurance Brokering; Blue Cross Blue Shield Texas; 01/01/1983; / United Healthcare; 01/01/1983; / Aetna; 01/01/1983; / Dearborn National Life; 01/01/1983; / Principal; 01/01/1983; / Guardian; 01/01/1990; / National Life of Vermont; 01/01/1990; . Business Ownership; Cattle Ventures; ; raising cattle; 505 Denise Street, West Columbia, TX 77486, ,; Not Investment-Related; 01/01/2008; 10 to 19 hours per month; 0 during trading hours. Outside Employment; R L Travis Financial Group LLC; employee, advisor; income from practice; 115 N Dixie Drive, Ste 120, Lake Jackson, TX, 77566; Investment-Related; 01/08/2025; 1 to 9 hours per month; 1 to 9 during trading hours.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2012-08-02
S63 Uniform Securities Agent State Law Examination 1987-06-26
  • S65 Uniform Investment Adviser Law Examination
    2012-08-02
  • S63 Uniform Securities Agent State Law Examination
    1987-06-26
Designations
Other Names
  • Dicky Travis

View on SEC IAPD

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